Construction Engineering and Inspection (CEI) may be performed by a qualified consultant obtained through the appropriate procurement process or by the Local Government Agency's (LGA) In-House Staff. Failure on the part of the LGA or NCDOT to perform CEI services adequately can result in not being reimbursed for the engineering and inspection services performed as well as project work performed by the Contractor.
The municipal Agreement limits the Reimbursement of any CEI work to fifteen percent (15%) of the construction contract; however, exceptions may be made to exceed that amount if justified by the LGA and approved by the respective NCDOT Division, and if sufficient funding is available through the Agreement.
Professional Engineering Firms Hiring Contractor/Supplier Employees
In conformance with Section 108-5 of the Construction Manual and NCDOT Ethics Policy, private engineering employees who were previously employed by a Contractor may not perform any function on a project with which they have been involved during employment with the Contractor. Further, any Quality Control Technician who was previously employed by a Contractor or material supplier and hired as a Quality Assurance Technician shall not sample or test material from their former employer for a period of six months.
Requests to Utilize the Same Firm for both Design/Plans and Construction Contract Administration (CA) Services
NCDOT's practice is to prohibit firms that have provided design services for a specific project from participating in CA for that project. The purpose of this practice is to avoid conflicts of interest that may result in additional costs to NCDOT or create potential long-term maintenance or safety-related issues. Requests for an exception to this practice may be submitted to NCDOT and will be reviewed on a case-by-case basis. Some examples where an exception may be approved are:
- Projects that do not directly impact the motoring public and present low risk of future safety or maintenance related issues. This could include projects that primarily involve construction of such facilities as sidewalks, greenways, wetland mitigation sites, or bus stops.
- Projects with a total construction contract value of less than $1.2 Million.
- The requested CA is limited only to the items of work that the firm did not directly design or if the firm performed preliminary engineering work of a minor nature.
- The LGA demonstrates control of the work, maintaining approval of payments and any change orders.
It is noted that if the above exception is approved, the Professional Engineering Firm (PEF) utilized to perform CA must be prequalified to perform CEI. Separate pre-qualifications exist for Roadway and Structures CEI. In addition, procurement of the PEF services must follow all Federal and State policies and be obtained through an equitable selection process.
Materials and Testing
All technicians performing sampling and testing for the PEF must have appropriate certifications as required by NCDOT. The NCDOT Materials & Tests Unit is responsible for providing training for technicians.
Procedure
Requesting to utilize the same firm for both Design/Plans and CA Services:
- Submit a letter requesting an exemption from this practice to the Local Programs Management Office (LPMO). The letter should address how the LGA will eliminate potential conflicts of interest and include information on the scale of the project, impacts, risks, and quantity of work.
- Exemption approval will come directly from the NCDOT Construction Unit to the LGA.
IMPORTANT: An exemption does not allow the LGA to extend the design contract to include CA; federal requirements dictate that the LGA will have to undertake a new solicitation to ensure competition. By obtaining an exemption, the LGA can allow the design firm to compete for CA. (See Professional Services for procurement requirements.)
